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Registered advisor
R•••••• J••• R•••••
Feed of 09/15/2026
At current firm
3 y
since May 31, 2023
In the industry
40 y
since Aug 27, 1986 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 31, 2023 · San Jose, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to May 12, 2023 · Soquel, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 31, 2017 to Dec 16, 2022 · Walnut Creek, Ca
- T• A••••••••• I••• formerJul 31, 2017 to Oct 14, 2022 · Walnut Creek, Ca
- S•••••••• A••••••• L•• national BDJul 20, 2006 to Jul 12, 2017 · San Francisco, Ca
- S•••••••• A••••••• L•• national BDSep 9, 1998 to Jul 20, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left May 12, 2023, registered May 31, 2023 (19 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 16, 2022, registered Jan 26, 2022 (-324 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 31, 2017 (-1901 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Jul 12, 2017, registered Jul 31, 2017 (19 days) · Other
Signals
- R•••••• J••• R••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2023-05-31)May 12, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address